The FMCSA New Entrant will be monitored during the initial 18-month period. Generally audits, compliance reviews/interventions take place at the principal place of business. Some are conducted via mail or electronic. What to expect:
FMCSA Information on New Entrant Safety Audit
For the drug and alcohol testing program, the new entrant must show documentation of the following:
Alcohol and drug testing policies and instructions for implementing your program.
Copies of written consent forms you sent to obtain 40.25 drug and alcohol information from previous employers, and the responses received from those employers.
Copies of written consent forms you received from prospective employers for 40.25 information, and documentation of your responses.
Educational materials for employees.
Documentation showing how education materials were made available to employees.
List of supervisors responsible for making reasonable suspicion and reasonable cause determinations.
Supervisory training lesson plans and course materials.
Attendance lists for supervisors who received this training.
Pre-employment testing records.
Information about the type of method used to select employees for random testing.
Names of all employees in the random testing pool for each selection period that the DOT Agency will review.
Names of all employees selected for testing.
Names of all employees actually tested.
CCFs and ATFs showing employees were tested within the selection period.
A New Entrant will AUTOMATICALLY FAIL the Safety Audit for violations related to:
Alcohol and Drug Violations
No alcohol and/or drug testing program.
No RANDOM alcohol and/or drug testing program.
Using a driver who refused a required alcohol or drug test.
Using a driver the company knows had a blood alcohol content of 0.04 or greater.
Using a driver who failed to complete required follow-up procedures after testing positive for drugs.
A New Entrant fails the Safety Audit for knowingly:
Using a driver without a valid CDL.
Using a disqualified driver.
Using a driver with a revoked, suspended, or cancelled CDL.
Using a medically unqualified driver.
Operating a motor vehicle without having in effect the required level of insurance.
Failing to require drivers to make hours-of-service records.
Repairs and Inspections Violations
Operating a vehicle declared Out-of-Service for safety deficiencies before repairs are made.
Not performing OOS repairs reported in driver-vehicle inspection reports (DVIRs).
Operating a CMV not periodically inspected.
Results of the Safety Audit
If passed, FMCSA will continue to monitor the New Entrant’s safety compliance and performance.
If failed, New Entrants must satisfactorily implement a corrective action to correct safety management practices. Failure to do so will result in immediate revocation of U.S. DOT registration.